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DOS-29-07-00010-E Outline Requirements for Continuing Education Courses for Licensed Home Inspectors
7/18/07 N.Y. St. Reg. DOS-29-07-00010-E
NEW YORK STATE REGISTER
VOLUME XXIX, ISSUE 29
July 18, 2007
RULE MAKING ACTIVITIES
DEPARTMENT OF STATE
EMERGENCY RULE MAKING
I.D No. DOS-29-07-00010-E
Filing No. 650
Filing Date. Jun. 29, 2007
Effective Date. Jun. 29, 2007
Outline Requirements for Continuing Education Courses for Licensed Home Inspectors
PURSUANT TO THE PROVISIONS OF THE State Administrative Procedure Act, NOTICE is hereby given of the following action:
Action taken:
Addition of Subpart 197-3 to Title 19 NYCRR.
Statutory authority:
Real Property Law, section 444-f
Finding of necessity for emergency rule:
Preservation of general welfare.
Specific reasons underlying the finding of necessity:
This rule was adopted on an emergency basis to preserve and enhance the public welfare. Art. 12-B of the Real Property Law (Home Inspection Professional Licensing Act, which became effective Dec. 31, 2005), requires that no person shall conduct a home inspection for compensation unless that person is licensed as a home inspector in accordance with requirements set forth in the statute, including meeting specific standards for education and experience. Further, § 444-f(1) of art. 12-B, requires that applicants for renewal of a license as a home inspector must complete a course of continuing education approved by the Secretary of State. Accordingly, to ensure that prospective applicants continue to meet the educational standards required for their profession, this rule has been adopted on an emergency basis. As such, it is similar to those required by other regulatory statutes, and provides a greater measure of assurance to the general public that home inspectors are qualified for licensure. As part of fulfilling its ongoing obligation to provide appropriate guidelines and standards for the profession, the state home inspection council has only recently adopted the number of course hours required for meeting the continuing education requirement, thus necessitating the adoption of this rule on an emergency basis.
Subject:
Outline requirements for continuing education courses for licensed home inspectors.
Purpose:
To establish standards for continuing education courses for licensed home inspectors.
Text of emergency rule:
An Amendment to 19 NYCRR Part 197 is adopted to read as follows:
SUBPART 197-3.
HOME INSPECTION CONTINUING EDUCATION COURSES
Section 197-3.1 General requirements.
(a) Renewals. No renewal license shall be issued to any home inspector for any license period commencing on or after December 31, 2007 unless such licensee completes 24 hours of approved continuing education within the two-year period immediately preceding such renewal, except those licenses expiring on or after December 30, 2007, but on or before December 31, 2008, shall be required to complete 6 hours of approved continuing education prior to application for renewal.
(b) Course approval. No offering of a course of study in the home inspection field for the purpose of compliance with the continuing education requirements of subdivision (a) of this section shall be acceptable for credit unless such course of study has been approved by the department under the provisions of this Part.
Section 197-3.2 Approved entities.
Continuing education home inspection courses may be given by any college or university accredited by the Commissioner of Education of the State of New York or by a regional accrediting agency approved by the Commissioner of Education; public or private schools; and home inspection related professional societies and organizations. The following types of instruction shall not be acceptable as meeting continuing education requirements:
(a) offerings in basic computer skills training, instructional navigation of the web, instructional use of generic computer software or industry specific report writing software, personal motivation, business marketing, salesmanship, radon and pests.
Section 197-3.3 Request for approval of course of study.
The following applies to courses to be presented in a class-room setting where the instructor is present with the class. Requests for approval of courses of study in the home inspection field to be given to satisfy the requirements for continuing education under the provisions of this Part shall be made 60 days before the proposed course is to be given. The request shall include the following:
(a) name, address and telephone number of the applicant;
(b) if applicant is a partnership, the names of the partners in the entity; if a corporation, the names of any persons who own five percent or more of the stock of the entity;
(c) title of each course to be offered;
(d) location of each course offered;
(e) duration and time of each course offered;
(f) procedure for taking attendance;
(g) a detailed outline of the subject matter of each course or seminar containing at least one hour of instruction up to 24 hours of instruction, together with the time sequence of each segment thereof and teaching techniques used in each segment; and
(h) description of materials to be distributed to the participants.
Section 197-3.4 Program Approval.
A sponsor of a course which is conducted on one day may file an application for approval within 30 days of the completion of the course. The sponsor must advise registrants that approval is not guaranteed.
Section 197-3.5 Successful completion of course.
(a) Any course for continuing education shall be accepted for credit on the basis of attendance only. The course administrator must submit to the department within 15 days of completion of the class, the names and unique identification numbers of all individuals who successfully complete the approved course.
(b) Evidence of successful completion of the course must be furnished to students in certificate form. The certificates must indicate the following: the name of the approved entity, the name of the course, the code number of the course, and that the student who shall be named has satisfactorily completed a continuing education course approved by the Department of State and the number of hours earned. The certificate must be signed and dated by the person authorized to sign certificates.
Section 197-3.6 Equivalency Credit.
(a) A licensee who teaches an approved home inspection course pursuant to Subpart 197-2 of this Part or an approved course offered for continuing education shall be credited with two hours for each hour of actual teaching performed. Records of such teaching shall be maintained by the person or organization presenting the course and certified on forms prescribed by the department. The records of such teaching shall be deemed records of attendance for all purposes of these rules. Credit shall not be awarded for teaching the same course more than once in a license cycle. Instructors must submit evidence of such teaching experience with an equivalency application.
(b) Individuals who complete a course of study offered outside of the State of New York, which course has not been approved by the department, may file a request to the department for review and evaluation. All applicants for such consideration must be submitted with official documentation of satisfactory completion and the official descriptions of the course of study.
(c) All applications for and evidence of equivalency credit must be submitted to the department for consideration at least 30 days prior to the expiration of the license.
Section 197-3.7 Extension of time to complete courses.
The department may grant a waiver to any licensee who evidences bona fide hardship precluding completion of the continuing education requirements prior to the time the renewal application is to be filed. A licensee seeking such a waiver shall submit a written request, together with the evidence demonstrating such hardship. The licensee will be notified if their extension has been granted.
Section 197-3.8 Computation of instruction time.
To meet the minimum statutory requirement, attendance shall be computed on the basis of an hour equaling 60 minutes.
Section 197-3.9 Attendance and Record Retention.
(a) No licensed person shall receive credit for any course presented in a class-room setting if he or she is absent from the class room, during any instructional period, for a period or periods totaling more than 10 percent of the time prescribed for the course pursuant to section 197-3.3(g) of this Part, and no licensed person shall be absent from the class room except for a reasonable and unavoidable cause.
(b) The person or organization conducting the course shall certify to the department the name of each licensed person who successfully completed the course of study and his or her license unique identification number, and shall maintain its attendance records and a copy of such report for three years and, in addition, shall maintain the following records concerning the course:
(1) the approval number issued by the department for the course;
(2) title and description of the course;
(3) the dates and hours the course was given; and
(4) the names and Unique Identification numbers of the persons who took the course and whether they completed it successfully.
Section 197-3.10 Policies concerning course cancellation and tuition refund.
Any educational institution or other organization requesting from the Department of State approval for home inspection courses must have a policy relating to course cancellation and tuition refunds. Such policy must be provided in writing to prospective students prior to the acceptance of any fees.
Section 197-3.11 Auditing.
A duly authorized designee of the department may audit any course offered and may verify attendance and inspect the records of attendance of the course at any time during its presentation or thereafter.
Section 197-3.12 Change in approved course of study.
There shall be no change or alteration in any approved course of study without prior written notice to, and approval, by the department.
Section 197-3.13 Suspensions and denials of school approval.
The department may deny, suspend or revoke the approval of a home inspection school, if it is determined that they are not in compliance with the law and rules. If disciplinary action is taken, a written order of suspension, revocation, or denial of approval will be issued. Anyone who objects to such denial, suspension or revocation shall have the opportunity to be heard by the Secretary of State or his designee.
Section 197-3.14 Open to public.
All courses approved pursuant to this Part shall be open to all members of the public regardless of the membership of the prospective student in any home inspection professional society or organization.
Section 197-3.15 Facilities.
Each course shall be presented in such premises and in such facilities as shall be necessary to properly present the course.
Section 197-3.16 Faculty.
(a) Each instructor for an approved home inspection course of study must be approved by the Department of State. To be approved, an instructor must submit an application along with a resume reflecting three years of experience as a home inspector during which time the applicant has completed at least 250 home inspections.
(b) An instructor who does not qualify under subdivision (a) of this section may be approved as a technical expert if the instructor submits an application and resume establishing, to the satisfaction of the Department of State, that the applicant is an expert in and has at least three years' experience in a specific technical subject related to home inspection. Approval by the Department of State shall specify the subject(s) within the home inspection course or course module for which approval is given.
Section 197-3.17 Continuing education credit.
No continuing education course will be considered for continuing education credit more than once within the two year cycle of renewal.
Section 197-3.18 Registration period.
Each registration or renewal period for approved programs or courses shall be for 12 months or a part thereof, said period to commence on January 1 or date thereafter and to continue until December 31.
This notice is intended
to serve only as a notice of emergency adoption. This agency intends to adopt this emergency rule as a permanent rule and will publish a notice of proposed rule making in the State Register at some future date. The emergency rule will expire September 26, 2007.
Text of emergency rule and any required statements and analyses may be obtained from:
Kenneth L. Golden, Department of State, Office of Counsel, Division of Licensing Services, 80 S. Swan St., 10th Fl., Alfred E. Smith Office Bldg., Albany, NY 12201, (518) 486-4588, e-mail: kgolden@dos.state.ny.us
Regulatory Impact Statement
1. Statutory authority:
Article 12-B (Home Inspection Professional Licensing Act) of the Real Property Law, enacted as Chapter 461 of the Laws of 2004, and amended by the Laws of 2005, ch. 225, provides that no person shall perform a home inspection for compensation unless that person is licensed as a home inspector. The statute sets forth minimum standards of education and experience required to obtain a license as a home inspector. These include the successful completion of an extensive course of study of not less than one hundred forty hours, including at least forty hours of field-based inspections in the presence of a licensed home inspector, professional engineer or architect; performance of not less than one hundred home inspections under the direct supervision of a home inspector, professional engineer or architect; and passing a standardized written examination.
Real Property Law, § 444-f (1) provides that licenses for home inspectors shall be valid for two years, and are subject to renewal only after successful completion of a course of continuing education approved by the Secretary of State in consultation with the home inspection council. This rule fulfills that obligation by outlining the continuing education requirements for home inspectors, and setting appropriate standards for approval of home inspection courses. Accordingly, the Secretary of State has express authority to adopt this rule.
2. Legislative objectives:
In enacting Article 12-B of the Real Property Law, the legislature emphasized the significant role played by home inspectors, and the reliance consumers place upon their reports in purchasing homes, especially when encouraged to do so by mortgage lenders. Recognizing that not all persons providing this service may be reliable, this legislation was enacted to provide additional assurance to consumers that those individuals performing such inspections are qualified to do so. The statute sets minimum standards for their profession, which include an extensive course of study of not less than one hundred forty hours, including at least forty hours of field based inspections in the presence of a licensed home inspector, professional engineer or architect; the performance of not less than one hundred home inspections under the direct supervision of a home inspector, professional engineer or architect; and passing a standardized written examination. In addition, all applicants for renewal of a license must have successfully completed a course of continuing education approved by the Secretary of State.
Thus, Article 12-B was designed to “protect the public,” especially from those who present themselves as qualified professionals, but without the necessary education and experience.1This rule re-enforces the stated objectives of the Legislature when it enacted Article 12-B, by providing appropriate standards for maintaining the skills required by professional home inspectors.
3. Needs and benefits:
Real Property Law § 444-f(1) requires all home inspectors seeking renewal of their licenses to have successfully completed a course of continuing education approved by the Secretary of State, in consultation with the home inspection council. By adopting this rule, the Department of State helps to ensure that all home inspectors who apply for renewal of their licenses will have had the opportunity to meet this statutory requirement.
In addition, consumers benefit from the assurance that persons hired to inspect the homes they purchase continue to meet the qualifications and experience needed to render professional service.
4. Costs:
a. Costs to regulated parties:
Licensees seeking renewal will be required to pay the cost of attending and completing an approved course of study for the required number of hours. Those costs have not been determined, but are not anticipated to exceed those charged by educational institutions providing instruction and training for continuing education in comparable professions.
b. Costs to the Department of State:
The Department of State anticipates that the cost and implementation will be minimal, and administration of this rule will be accomplished using existing resources.
c. Costs to State and local governments:
The rule does not otherwise impose any implementation or compliance costs on State or local governments.
5. Local government mandates:
The rule does not impose any program, service, duty or other responsibility on local governments.
6. Paperwork:
The rule requires that each applicant seeking renewal of a home inspector's license obtain and retain certificates as evidence of the successful completion of the required number of hours of continuing education.
7. Duplication:
This rule does not duplicate, overlap or conflict with any other state or federal requirement.
8. Alternatives:
During regular meetings, the state home inspection council reviewed and considered various proposals for compliance with the statutory mandate for continuing education standards, ultimately recommending approval of the number of hours, courses of study, and methods of ensuring compliance adopted by this rule.
9. Federal standards:
There are currently no federal standards requiring continuing education courses for licensed home inspectors.
10. Compliance schedule:
Applicants for renewal of a home inspector's license have two years in which to comply with the continuing education requirement, with a prorated reduction for renewal of licenses expiring less than two years from the effective date of this rule.
The Department of State anticipates that the Division of Licensing Services will be able to comply immediately with this rule.
1McKinney's Session Laws of New York, 2005, p. 1951
Regulatory Flexibility Analysis
1. Effect of rule:
The rule affects all licensed home inspectors (individuals, firms, companies, partnerships, limited liability companies, or corporations) who seek renewal of a home inspector's license. Each such applicant will be required to expend the time and incur the costs of attending the required number of hours needed for successful completion of an approved course of continuing education, and obtain the certificate as evidence of successful completion of that requirement. However, it is not anticipated that this requirement will place an undue financial burden, or impose a hardship for those applicants seeking to maintain their qualifications for providing professional services to consumers.
The rules does not apply to local governments.
2. Compliance requirements:
Applicants seeking renewal of their licenses will be required to attend and complete an approved course of study of continuing education, and obtain certificates as proof of the successful completion.
The rule does not impose any compliance requirements on local governments.
3. Professional services:
Small businesses will not need professional services in order to comply with this rule.
The rule does not impose any compliance requirements on local governments.
4. Compliance costs:
It is anticipated that small businesses will incur only the costs of any fees required for attending and completing an approved course of continuing education.
The rule does not impose any compliance costs on local governments.
5. Economic and technological feasibility:
It is not anticipated that small businesses will incur any additional costs or require technical expertise as a result of implementation of this rule.
The rule does not affect local governments.
6. Minimizing adverse economic impact:
It is not anticipated that small businesses will incur any additional costs as a result of implementation of this rule, which would require the adoption of alternative practices.
The rule does not affect local governments.
7. Small business and local government participation:
Since the impact on small businesses will be minimal, and the rule would not affect local governments, the Department did not solicit public comment prior to the adoption of this rule. The home inspection council, in consultation with the Secretary of State, recommended approval of the minimum requirements for continuing education adopted by this rule.
Rural Area Flexibility Analysis
1. Types and estimated numbers of rural areas:
This rule applies equally to all licensed home inspectors in all areas of the state-urban, suburban and rural.
2. Reporting, recordkeeping and other compliance requirements:
Reporting and recordkeeping requirements are set forth fully in Section 2 of the Regulatory Flexibility Analysis for Small Business and Local Governments.
Applicants for renewal of a home inspector's license in rural areas will not need to employ any additional professional services in order to comply with this rule.
3. Costs:
It is not anticipated that small businesses, whether located in urban, suburban or rural areas, will incur any additional costs of compliance as a result of this rule.
4. Minimizing adverse impact:
It is not anticipated that small businesses, whether located in urban, suburban or rural areas, will incur any additional costs of compliance requiring the adoption of alternative practices, as a result of this rule.
5. Rural area participation:
Since the impact on small businesses will be minimal and will apply equally throughout all areas of the state, whether urban, suburban or rural, the Department did not solicit comment prior to adoption of this rule. The home inspection council, in consultation with the Secretary of State, recommended approval of the minimum requirements for continuing education adopted by this rule.
Job Impact Statement
This rule will not have any substantial adverse impact on jobs and employment opportunities. As a result of enactment of Article 12-B of the Real Property Law, which became effective December 31, 2005, any person performing a home inspection for compensation in this state must obtain a license. Licenses are valid for two years, and may be renewed only upon successful completion of an approved course of continuing education. Inasmuch as this rule affects only those licensed home inspectors who seek renewal of license, it promotes employment opportunities by ensuring that only those qualified to provide this service, will be licensed.
